Raymond James Financial complaint Archives

ER
June 22, 2023

Roman Meyerhans- Raymond James Advisor -Discloses Regulatory Event and Customer Dispute- Miami, FL

Roman Meyerhans- Raymond James Advisor -Discloses Regulatory Event and Customer Dispute- Miami, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 22, 2023 October 3, 2023

Roman Meyerhans Investigation June 2023- Miami, FL The FINRA records of Roman Meyerhans, a broker employed by Raymond James & Associates, Inc. disclose a regulatory matter and a customer dispute. The…

ER
March 30, 2022

Chuck Cox-Raymond James Broker-Discloses Prior Customer Dispute and Customer Dispute -Federal Way, WA

Chuck Cox-Raymond James Broker-Discloses Prior Customer Dispute and Customer Dispute -Federal Way, WA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 30, 2022 October 4, 2023

Charles (Chuck) Arthur Cox Investigation March 2022- Federal Way, WA According to publicly available records Chuck Cox , a stockbroker registered with Raymond James Financial Services Advisors, Inc. discloses a…

Robert Rex, Esq.
November 15, 2021

Gilford Ward Nergard- Former Raymond James Broker- Discloses Regulatory Event, Customer Disputes and a Termination From Employment – Phoenix, AZ

Gilford Ward Nergard- Former Raymond James Broker- Discloses Regulatory Event, Customer Disputes and a Termination From Employment – Phoenix, AZ https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 15, 2021 October 4, 2023

Guilford Nergard Investigaton November 2021- Phoenix, AZ According to publicly available records, Guilford Nergard, a currently unregistered financial advisor who previously was employed by Raymond James discloses a regulatory event ,…

Robert Rex, Esq.
November 8, 2021

Sarah Komischke-Former Raymond James Advisor-Subject of Two Customer Suits-New York

Sarah Komischke-Former Raymond James Advisor-Subject of Two Customer Suits-New York https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 8, 2021 October 3, 2023

Xiao Qin (Sarah) Komischke Investigation November 2021- New York, NY According to publicly available records, former Raymond James financial advisor Xiao Qin “Sarah” Komischke, is the subject of two pending…

ER
August 18, 2021

Joseph Olheiser -Cabot Lodge Securities Broker- Discloses Regulatory Event and a Termination From Employment- Mountain View, CA

Joseph Olheiser -Cabot Lodge Securities Broker- Discloses Regulatory Event and a Termination From Employment- Mountain View, CA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g August 18, 2021 August 18, 2021

August 2021 -Mountain View, CA According to publicly recorded records, Joseph D. Olheiser, a financial advisor currenlty employed by Cabot Lodge Securities, discloses a regulatory event, a bankruptcy and a…

Robert Rex, Esq.
February 17, 2020

John T. Howard-Raymond James Broker-Discloses $1.13 Million Award & Pending Customer Dispute-Birmingham, AL

John T. Howard-Raymond James Broker-Discloses $1.13 Million Award & Pending Customer Dispute-Birmingham, AL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 17, 2020 February 17, 2020

February 2020- Birmingham, AL The FINRA records of John Troy Howard (CRD#2264121) , a broker with Raymond James & Associates, Inc. discloses a prior arbitration award and a pending customer dispute. The Financial Industry…

Robert Rex, Esq.
January 30, 2020

E.Kyle Davis-Former Raymond James Broker-Subject of $500K Suit Over Unit Investment Trust-Atlanta, GA

E.Kyle Davis-Former Raymond James Broker-Subject of $500K Suit Over Unit Investment Trust-Atlanta, GA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 30, 2020 January 30, 2020

January 2020 – Atlanta, GA The FINRA records of E. Kyle Davis , a broker with Ameriprise FInancial Services discloses 2 prior regulatory events, a pending customer dispute and 3 prior customer disputes.…

Robert Rex, Esq.
May 18, 2019

Mark Tudor-Fired by Raymond James-Barred From Securities Industry-Lake Mary, FL

Mark Tudor-Fired by Raymond James-Barred From Securities Industry-Lake Mary, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 18, 2019 May 18, 2019

May 2019, Lake Mary, Florida According to publicly available records Mark Andrew Tudor , a former stockbroker who last worked for Raymond James Financial , disclose a recent regulatory event…

Robert Rex, Esq.
February 18, 2019

Mark Tauzin-Former LPL Financial Broker-Discloses Regulatory Event, Customer Dispute & Termination-Lafayette, LA

Mark Tauzin-Former LPL Financial Broker-Discloses Regulatory Event, Customer Dispute & Termination-Lafayette, LA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 18, 2019 February 18, 2019

February 2019- Lafayette, LA According to publicly available records Mark Tauzin (CRD#1716373) , a currently unregistered stockbroker who was last registered with LPL Financial, disclose a regulatory event , a prior customer dispute…